Head of Compliance

2 weeks ago


UK, UK, United Kingdom MERJE Full time

MERJE has been exclusively instructed to support a highly regarded Investment Management firm in their search for a Head of Compliance & Risk.


You’ll be responsible for overseeing the Compliance & Risk teams, engaging in a diverse range of tasks. This is a really exciting role where you will be responsible for:


  • Taking on the SMF 16 and SMF 17 remit
  • Provision of technical advice, support & regulatory guidance
  • Leading the implementation and maintenance of robust systems, policies, and controls to ensure compliance with regulatory standards, covering areas such as risk management, governance, anti-financial crime, and data protection.
  • Reporting directly to Boards and Committees on all compliance matters
  • Development & oversight of the annual compliance monitoring programme
  • Managing regulatory permissions while fostering effective relationships with the FCA
  • Embedding consumer-focused governance across all levels to ensure alignment with the FCA Consumer Duty, ensuring products and services meet market needs and deliver positive outcomes
  • Reviewing and implementation of compliance policies & procedures


Experience/Skills/Qualifications:


  • 8-10 years + broad Compliance experience ideally gained within an Investment Management environment
  • Previously held SMF16 & 17
  • Strong relationship-building skills with the ability to engage with stakeholders at all levels across the business
  • Team management experience - ability to lead and inspire
  • Thorough knowledge of the FCA’s regulatory rules appropriate to the investment management space
  • Attention to detail and strong analytical skills, capable of logical thinking, using initiative, and systematically resolving problems
  • Strong academic background (relevant compliance qualifications such as CISI desirable)


Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.


If you would like this job advertisement in an alternative format, please contact MERJE directly.


  • Head of Compliance

    2 days ago


    UK, UK, United Kingdom BWD Search & Selection Full time

    Head of Compliance (SMF16)London (Hybrid working)£110,000 Basic + bonus & benefits. Are you an experienced Senior Compliance Manager looking for the step up or a current Head of Compliance from the Credit Card or Payments industry?Would you like to change roles and join a very fast growing business that is looking to strength its Compliance structure?Your...


  • UK, UK, United Kingdom Career Legal Full time

    Role: Head of Compliance (UK, Europe, USA)Location: London, 2 days a week in the office Employment Type: Permanent, Full-timeSalary: £competitive An international law firm based in the City are seeking a Head of Compliance to manage its compliance operations across the UK, Europe, and the USA.Key Responsibilities:Lead all compliance functions, focusing on...


  • UK, UK, United Kingdom Coyne & Associates Limited Full time

    CompanyNational training provider now seeks to appoint a Head of Funding Compliance. You will be part of the Compliance and Funding Senior Management Team and play a pivotal role in interpreting regulatory requirements into efficient processes and controls to enhance the learner apprenticeship experience.LocationThe role is offered on a hybrid/remote basis...

  • Head of Compliance

    4 weeks ago


    UK, UK, United Kingdom Alexander Barnes Full time

    Alexander Barnes has partnered with a rapidly expanding international e-money firm that is extending its operations into the UK and Europe. Specialising in B2B and B2C payment solutions, this company is a leader in the financial services industry, offering a comprehensive suite of Electronic Money Institution (EMI) products, remittance services, and foreign...


  • UK, UK, United Kingdom Worldwide Currencies Ltd Full time

    Company DescriptionWorldwide Currencies Limited, a leading company in foreign exchange, is quickly expanding into the fintech sector and is seeking an experienced Head of Compliance/MLRO. Our goal is to constantly seek out new products and markets where we can provide added value to our clients in foreign exchange and global payments. As a member of our...


  • UK, UK, United Kingdom Rutherford Full time

    Rutherford is currently working with a boutique investment bank that are looking to hire an Interim Head of Compliance in London. The role will manage the compliance team and support the team on an interim basis. The hire will start as an initial 6 months.Responsibilities:Manage the EMEA compliance team Provide timely advice to the investment and trading...

  • Head of Compliance

    2 months ago


    London, UK, UK, United Kingdom IPS Group Full time

    This exciting Insurance business has ambitious plans for growth. The Group has strong International operations and financial backing; the UK business is newer and set for significant expansion. The focus of this growth will be Specialty Lines. You will be Head of Compliance for the UK business, working across Specialty and Consumer lines, part of the UK...

  • Head of Compliance

    3 weeks ago


    London, UK, UK, United Kingdom Finitas Full time

    Location: London, UKSector: InsuranceType: Permanent, Full-TimeSalary: £1xx,xxx + BenefitsWe are seeking a skilled Head of Compliance Operations for a top-tier London Market Broker. This role is ideal for a senior compliance professional ready to lead and shape the compliance strategy in a dynamic and respected firm.Key Responsibilities:Lead and develop the...

  • Head of Compliance

    3 weeks ago


    London, UK, UK, United Kingdom Finitas Full time

    Location: London, UKSector: InsuranceType: Permanent, Full-TimeSalary: £1xx,xxx + BenefitsWe are seeking a skilled Head of Compliance for a top-tier London Market Broker. This role is ideal for a senior compliance professional ready to lead and shape the compliance strategy in a dynamic and respected firm.Key Responsibilities:Lead and develop the compliance...


  • London, UK, UK, United Kingdom Apollo Solutions Full time

    A leading foreign bank is in search of a Deputy Head of Compliance. Reporting to the Head of Compliance, the ideal candidate can expect significant exposure and professional development. This role involves overseeing junior team members and active participation in strategic meetings to enhance the 2nd line of defense (2LoD) compliance functions.In this...

  • Head of Compliance

    3 months ago


    London, UK, UK, United Kingdom Black Swan Group Full time

    Shape the Future of Digital Finance as Head of Compliance! Are you a compliance leader ready to navigate the exciting landscape of digital assets within an FCA regulated business? Your next career move awaits you! Black Swan Group is thrilled to represent a pioneering client in the digital assets space, seeking a visionary Head of Compliance to join their...

  • Head of Compliance

    2 days ago


    UK, UK, United Kingdom Wintermann Search Full time

    My client a European bank is looking to hire a Head of Compliance & MLRO for it's London office.Job Purpose:To support the Executive in achieving their Strategic Plan and objectives in a compliant manner by providing appropriate challenge and diligence. To ensure that a strong compliance culture is recognised and embedded across the Bank. To lead the...


  • UK, UK, United Kingdom Camino Partners Ltd Full time

    Head of Contracts and ComplianceHybrid workingCentral LondonInternational recruitment businessMy client is seeking a talented and experienced Contract Compliance professional to join their team. You will be responsible for ensuring all contractual obligations and compliance standards are met concerning the provision of independent consultants and contractors...

  • Head of Compliance

    2 days ago


    UK, UK, United Kingdom Cisilion Full time

    The Head of Compliance works as an integral part of the Cisilion Operations team, and has overall accountability for making sure that Cisilion meets its compliance objectives.Compliance includes but is not limited to Information Security, Quality Management, Data protection and Health and Safety. This can include working with internal / external auditors,...


  • UK, UK, United Kingdom The Baltic Exchange Full time

    Baltic Exchange is the world's leading source of independent maritime market data and we have an exciting opportunity for highly motivated professional to join our Compliance team.We sit at the heart of maritime industry, bringing together the shipowners, charterers, and brokers who make up the market of the seaborn movement of bulk commodities....

  • Head Risk Compliance

    3 weeks ago


    UK, UK, United Kingdom Ryder Reid Legal Full time

    Are you a UK-qualified Senior Risk & Compliance professional looking to join a growing prestigious global law firm in London?The roleBased in London, the Risk and Compliance Counsel’s primary responsibilities will be to support the London office Money Laundering Risk Officer, Money Laundering Compliance Officer, Compliance Officer for Legal Practice, and...

  • Compliance Manager

    4 weeks ago


    UK, UK, United Kingdom QHQ Ltd Full time

    We have an excellent opportunity for a Product Compliance Manager to join the head office team of a leading lifestyle Brand.The role covers toys, gifts, childrenswear, adult clothing, accessories, pet accessories and hard goods.The ideal candidate will have proven experience working in international multi product compliance. A passion for...

  • Compliance Manager

    2 weeks ago


    UK, UK, United Kingdom Nashrock Insurance Recruitment Full time

    The Compliance Manager will serve as the deputy to the Head of Regulatory Affairs, supporting day-to-day compliance operations, managing the Compliance team, attending key meetings, preparing reports, and stepping in when needed.Direct Reports: Senior Compliance Analyst, Compliance Assistant, Compliance Monitoring Assistant General Responsibilities:1. ISO...


  • UK, UK, United Kingdom Edenbrook Full time

    Senior Risk and Compliance Analyst opportunity working with a rapidly growing specialty insurer operating within the Lloyd’s market. You will be supporting the Risk & Compliance team in ensuring compliance with all relevant regulation and legislation applicable in the general & Lloyd’s insurance sector.Key Responsibilities:Risk Management:Assist in the...

  • Compliance Analyst

    4 weeks ago


    UK, UK, United Kingdom Clayton Davies Full time

    Our client, a highly successful Investment Management firm, are looking for a Compliance Analyst to join the business. This role, reporting to the Head of Compliance, will undertake compliance/related projects and tasks across all the firm’s departments. The Compliance function delivers independent oversight and assurance, as well as advice in relation to...